Request an Individual's Ethics Documents

Forms and Documents

Document Name	Status
Form OGE Form 201 Request an Individual's Ethics Documents Form and Instruction	Modified
201 PRA Nonsubstantive Change Justification November 2023.docx Justification for No Material/Nonsubstantive Change	2023-11-30
OGE 201 2023 PRA Supporting Statement.docx Supporting Statement A	2023-02-23

IC Document Collections

IC ID	Document Title	Status
44215	Request an Individual's Ethics Documents Form and Instruction	Modified

ICR Details

OMB Control No: 3209-0002	ICR Reference No: 202311-3209-001
Status: Received in OIRA	Previous ICR Reference No: 202306-3209-001
Agency/Subagency: OGE	Agency Tracking No: OGE Form 201
Title: Request an Individual's Ethics Documents
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/30/2023

	Requested	Previously Approved
Expiration Date	05/31/2026	05/31/2026
Responses	19,000	19,000
Time Burden (Hours)	3,167	3,167
Cost Burden (Dollars)	0	0

---

Abstract: The OGE Form 201 collects certain information from, and provides certain information to, persons who seek access to public financial disclosure reports and to other covered records. The form, with the proposed modifications, reflects the requirements of the Ethics in Government Act, including the Representative Louise McIntosh Slaughter Stop Trading on Congressional Knowledge Act (STOCK Act), as amended in 2013. These requirements relate to information collected about the identity of the requester, as well as any other person on whose behalf a record is sought, and requires that the requester acknowledge his or her awareness of the legal uses of the information contained in public financial disclosure reports and potential civil penalties for persons who obtain or use a public financial disclosure report for a prohibited purpose. The form also alerts requestors that intentional falsification of the information required by the form may result in prosecution under 18 U.S.C. section 1001. Requestors are mostly members of the public, particularly representatives of the news media, public interest groups, and private citizens, with some Federal agencies and employees.

---

Authorizing Statute(s): US Code: 5 USC 13122(b)(1) Name of Law: Ethics in Government Act of 1978
   PL: Pub.L. 112 - 105 11(a)(l) Name of Law: Representative Louise McIntosh Slaughter Stop Trading on Congressional Knowledge Act
   US Code: 5 USC 13107 (b) & (c) Name of Law: Ethics in Government Act of 1978
   PL: Pub.L. 113 - 7 0 Name of Law: Representative Louise McIntosh Slaughter Stop Trading on Congressional Knowledge Act
  

Citations for New Statutory Requirements: PL: Pub.L. 112 - 105 11(a) Name of Law: STOCK Act (2012)
PL: Pub.L. 113 - 7 0 Name of Law: STOCK Act (2013 Amendments)

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 66188	11/01/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	88 FR 11443	02/23/2023
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Request an Individual's Ethics Documents	OGE Form 201, OGE Form 201 Online Application, OGE Form 201 Online Application, OGE Form 201 Online Application	Request an Individual's Ethics Documents ,   Request an Individual's Ethics Documents ,   Request an Individual's Ethics Documents ,   Request an Individual's Ethics Documents

---

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	19,000	19,000	0	0	0	0
Annual Time Burden (Hours)	3,167	3,167	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

---

Annual Cost to Federal Government: $376,014

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 11/30/2023

---